Benjamin J. Prince
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Benjamin Joshua Prince, who also goes by Benjamin J Prince, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1997. Benjamin had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2021 - January 6, 2024
PARTNERCAP SECURITIES, LLC
October 23, 2009 - January 24, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 24, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 31, 2003 - October 20, 2004
QUICK & REILLY, INC.
February 14, 1998 - October 20, 2004
QUICK & REILLY, INC.
May 13, 1997 - February 14, 1998
FLEET BROKERAGE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 2/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PARTNERCAP SECURITIES, LLC
CRD#: 107130 / SEC#: , 8-66997
Contact information
FINRA licenses (11 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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